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Registered Rep.
December 8, 2015 |
2015 Broker Report Card: Fiduciary Worries The Department of Labor is set to rule that brokers working with retirement accounts meet a fiduciary standard.   |
InternetNews
September 27, 2010 |
Pew: Apple, Google Get the Most Tech Coverage The Pew study reveals a kind of "double vision" to how mainstream media covers technology. |
Investment Advisor
May 1, 2011
Kathleen McBride |
SEC and the Fiduciary Study: Where Do We Go From Here? It's not whether to extend fiduciary duty, but how to extend it |
Investment Advisor
December 2009
Kathleen M. McBride |
B/D Briefing: Surprise Broker Sentiment Most appear to support a fiduciary standard. |
Registered Rep.
May 28, 2010
Jake Zamansky |
Wall Street Will (Again) Kill The Passage of a Fiduciary Standard While the House financial reform bill includes a fiduciary standard for brokers in limited circumstances, I'm fairly certain history will repeat itself and the provision will mysteriously and entirely disappear when the House and Senate reconcile their respective bills. |
Investment Advisor
August 2010
Bob Clark |
Can't Beat 'Em? Then Stall 'Em Despite the reform bill's ambiguity, a fiduciary standard for all seems likely. |
Financial Advisor
October 2010
Scott A. MacKillop |
One Standard, Period The debate over the fiduciary standard should be about clients - and it would be over in a heartbeat if it were. |
Investment Advisor
September 2010
Melanie Waddell |
Washington Watch: Industry Heeds SEC's Call for Comments SEC flooded with comments on fiduciary standard; 'fiduciary forum' on September 24. |
Investment Advisor
March 2008
Melanie Waddell |
Figuring Out Fiduciary What, exactly, does fiduciary advisor mean? How can an advisor know for sure if he's fulfilling his fiduciary obligations? Are there any real guidelines? |
Financial Planning
March 1, 2010
Donna Mitchell |
More Plans for All A universal fiduciary standard could be great for consumers, but financial planners may get less benefit than they think. |
Registered Rep.
February 1, 2010
Kristen French |
Most Brokers Think Uniform Fiduciary Standard Unlikely Yet most of them also thought it would do good. |
Investment Advisor
October 2010
Melanie Waddell |
Dissecting the FSI's Position on Fiduciary As a new study finds investors still confused, Financial Services Institute president Dale Brown presents the independent broker/dealer perspective. |
Financial Advisor
March 2012
Donald B. Trone |
Defining 'Fiduciary' In Three Dimensions It means different things to different advisors, depending on their registered status, experience and background. What is clear is the need to continue to build consensus around what the term means to the industry. |
Investment Advisor
October 2010
Melanie Waddell |
Obama Calls for End to Some Bush-Era Tax Cuts; Fiduciary Lobbying Continues Some experts see a tax deal in early 2011 |
Registered Rep.
March 5, 2010
Kristen French |
Washington Not Swayed By Mainstream Media On Fiduciary Standard. What About Clients? Will all the media attention influence brokerage clients? Many have already been migrating to investment advisers who act as fiduciaries on the RIA side of the business. |
U.S. Banker
April 2010
Steve Garmhausen |
A New Standard for Bank Brokers? A bill mandating that brokerages adhere to a fiduciary standard would mean more disclosures, more work for bank compliance departments and more training. |
Investment Advisor
September 2010
Melanie Waddell |
The Playing Field: The Dodd-Frank Reform Bill Afterlife A fiduciary standard for all may crimp RIAs' competitive edge. |
Financial Advisor
May 2010
Bill Bachrach |
What Lower Standards Bring A lack of fiduciary standards for the industry means that as an advisor you have a competitive advantage when you put the client first. |
On Wall Street
December 1, 2009
Mark Astarita |
Brokers as Fiduciaries -- Much Ado About Nothing There is a battle cry to place a fiduciary obligation on retail brokers. But the real question is: What difference will it really make? |
Financial Planning
October 1, 2011
Donna Mitchell |
Doubling Down When the SEC recommended last January that brokers and investment advisors operate under a uniform fiduciary standard of care when dealing with clients, the decision seemed to validate, at last, what many industry groups and fiduciary advocates had been saying for years. |
Financial Advisor
September 2012
Jeff Schlegel |
Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds. |
Registered Rep.
June 30, 2010
Christina Mucciolo |
Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly. |
On Wall Street
January 1, 2011
Steve Garmhausen |
DOL: Advice Rules To Get Tougher The Department of Labor is poised to toughen rules for consultants and advisors that serve retirement plans, as past industry practices have fallen under new scrutiny. |
Financial Planning
December 1, 2009
Harold Evensky |
Clients First It is imperative that an honest, universal fiduciary standard incorporate basic principles designed to protect clients -- not brokers, advisors, or their employers. |
Investment Advisor
August 2007
Bob Clark |
Genius, Pure Genius Fake studies with unsound data and faulty conclusions put people who are trying to do the right thing on the wrong track. The problem is that for over a hundred years, the financial services industry has gotten away with a fraud: acting like "advisors" but being compensated as salespeople. |
Investment Advisor
August 2010
Melanie Waddell |
Advice to the SEC When it comes to the fiduciary standard, Capital Analysts President and CEO Matt Lynch says advisors "want to be sure the SEC seeks and gathers input from the industry as to how to implement these important changes." |
On Wall Street
July 1, 2010
Frances A. McMorris |
Confusion Reigns Among Wirehouse Advisors On The Fiduciary Issue With all the frenzy over the call for a universal fiduciary standard for all financial and investment advisors, it appears that those in the wirehouses don't really understand the debate. |
Investment Advisor
May 2010
Bob Clark |
Clark at Large: Hope and Change Hope is waning for a fiduciary standard for brokers. But the battle's not over yet. |
Registered Rep.
August 19, 2009
Christina Mucciolo |
Haggling Over The F Word Continues Regulators, consumer advocates and politicians continue to hammer out what it might mean for Series 65 investment advisors and series 7 registered reps to adhere to the new fiduciary standard. |
Financial Planning
September 1, 2009
Donald B. Trone |
Fiduciary Facts Separating fact from fiction for the fiduciary standard Obama has recommended applying to all advisors providing investment advice. |
Investment Advisor
July 1, 2011
Melanie Waddell |
Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface. |
Registered Rep.
October 6, 2009
Kristen French |
FSI Urges Alternatives To Proposed Investor Protection Act The Financial Services Institute recommends closing regulatory gaps between the two sides of the industry, and suggested that an industry-run, rather than a government-run, regulator would be best for the job. |
Registered Rep.
April 27, 2010
Kristen French |
Goldman Case Boosts Odds For Fiduciary Standard In Senate Bill The Senate hearing with Goldman Sachs may increase the likelihood that a fiduciary standard for brokers will make it into Senator Christopher Dodd's financial regulatory reform legislation. |
On Wall Street
July 1, 2009
Helen Kearney |
The 'F' Word Stirs Up Controversy Advisors who fall under the new fiduciary standard, namely investment advisors who run a fee-based business, must always put clients' interests before of their own. |
Financial Advisor
October 2009
Kristina Fausti |
A Higher Standard It appears that the SEC will remain the primary federal regulator of investment advisors, at least for now. |
Registered Rep.
October 5, 2009
Kristen French |
Citi Bank Brokerage Converts To All Fees Citigroup announced that it would convert its small North American bank brokerage business completely to a fee-on-assets-based fiduciary advice system, and would stop collecting commissions on stock and fund sales. |
Investment Advisor
December 2009 |
Walking the Fiduciary Line on Retirement Retirement plans and their participants may need to use separate advisors who are separate fiduciaries, devoid of the potential for conflicts. |
Registered Rep.
May 6, 2010
Kristen French |
Washington Goes Crazy For Fiduciary Standard A number of senators are scrambling to get on the fiduciary bandwagon following last weeks' Goldman Sachs hearings. |
Financial Planning
December 1, 2009
Kristina Fausti |
Fiduciary Q and A Most advisors are still not clear on the issues regarding a fiduciary standard. Here are some Qs and As on the subject. |
Investment Advisor
May 2007
Bob Clark |
We Win, Sort Of How the FPA can make the most out of its upset victory over the SEC. |
Investment Advisor
July 2010 |
IA Soapbox: Europe, ETFs, and the Fiduciary Standard The European landscape of ETFs looks much different than the U.S., partly due to the lack of a fiduciary duty to clients among advisors there. |
Financial Planning
November 1, 2006
Bob Veres |
Fiduciary Fire Index At the start of the new year, the Pension Protection Act will go into effect and expose all over again the fact that, although we all like to talk about fiduciary standards, there really isn't any consistent definition of the term. |
Financial Advisor
December 2009
David Lawrence |
Standards Of Care Fiduciary concepts are having a bigger impact on the financial services industry and your practice. |
Investment Advisor
October 2009
James J. Green |
Catching Up With: Bill Baldwin A telephone interview with the editor-in-chief of this publication and the new chairman of NAPFA, Bill Baldwin. |
Financial Planning
November 1, 2012
Bob Veres |
Financial Advisors May be Subject to Uniform Rules If we want uniform rules on investing recommendations, why stop at advisors? If Congress and our regulators are indeed serious about protecting the best interests of consumers, then perhaps it's time they took a wider view of financial advice. |
Financial Planning
May 1, 2010
Bob Veres |
In Their Own Words A fiduciary standard would be an important and powerful protection for the American consumer, and a giant step forward in the evolution of the financial advisory profession. |
Financial Planning
June 1, 2008
Bob Veres |
The Plan This is an interim report on the market share erosion experienced by our Wirehouse ("Member") firms versus "fiduciary" and "consumer-focused" financial planners. |
Investment Advisor
March 1, 2011
Kathleen Mcbride |
SEC and the Fiduciary Study: The Process Why the fiduciary standard became such a hot topic for regulators |
Financial Planning
July 1, 2010
Marion Asnes |
Envestnet's Fiduciary Opportunity Bill Crager, president of Envestnet, is not going to wait for Washington to figure out the fate of the fiduciary standard. The way he sees it, the market has already spoken. |
Investment Advisor
December 2009
Melanie Waddell |
Fiduciary Pushback The American College supports an amendment to the Investor Protection Act that would exempt some advice-givers from a fiduciary standard. |
